Office of Hearing Officers
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type |
Order No. |
|---|---|---|---|---|
| Jan 30, 2003 | C8A020014 | Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger | Disciplinary Decision | |
| Sep 18, 2006 | CAF030042 | Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard | Disciplinary Decision | |
| May 6, 2009 | 2006005696601 | Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc. | Disciplinary Decision | |
| Dec 30, 2011 | 2005002244102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Jan 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| May 4, 2015 | 2009016159111 | Brian Sanders | Disciplinary Decision | |
| Dec 1, 2016 | ARB160019 | Michael David Schwartz | Expedited Decision | |
| Dec 28, 2001 | CMS000015 | Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. | Disciplinary Decision | |
| Jun 26, 2000 | C10980008 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Apr 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| Jan 14, 2005 | C10040025 | Hearing Panel Decision in Department of Enforcement vs. John Brigandi | Disciplinary Decision | |
| Dec 18, 2015 | 2012034393801 | APPEALED: Aon D. Miller | Disciplinary Decision | |
| May 17, 2017 | 2012035284301 | APPEALED: Richard A. McCollam | Disciplinary Decision | |
| Aug 15, 2008 | 2005001729501 | Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner | Disciplinary Decision | |
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Jan 25, 2013 | 2009017798902 | Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 | Redacted Decision | |
| Jun 3, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| Jun 3, 2016 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc. and William H. Murphy | Disciplinary Decision | |
| Nov 19, 1999 | C8A990017 | Hearing Panel Decision in Department of Enforcement v. David L. Foran | Disciplinary Decision | |
| Feb 7, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| Jun 8, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| Nov 11, 2016 | 2013035533701 | APPEALED: Meyers Associates, L.P. | Disciplinary Decision | |
| Feb 15, 2002 | C01010003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Feb 7, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| May 31, 2006 | CAF030007 | Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice | Disciplinary Order |